Kevin Brock Smith

Current Employers

Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2016-11-30

IN RA
APPROVED

Since 2016-11-30

Branch Locations

8120 Oaklandon Road, Indianapolis, IN 46236 • United States

11662 Commercial Blvd, Fishers, IN 46038 • United States

13681 East 116Th Street, Fishers, IN 46037 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Fifth Third Bank	Indianapolis	IN	04/2007	Present
Fifth Third Securities	Indianapolis	IN	04/2007	Present

04/2007 → Present

Fifth Third Bank

Indianapolis, IN
04/2007 → Present

Fifth Third Securities

Indianapolis, IN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-11-28
S63	Uniform Securities Agent State Law Examination	1998-09-18

S65 Uniform Investment Adviser Law Examination

2016-11-28
S63 Uniform Securities Agent State Law Examination

1998-09-18

View on SEC IAPD

Current Employers

Fifth Third Securities, Inc.

Disclosures

Employment History

Exams

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